NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Stephen T. Bajjaly Claimant(s) vs. 89-00047 PaineWebber, Inc. and Fidelity Investments Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Stephen T. Bajjaly alleged that Respondent(s) PaineWebber, Inc. and Fidelity Investments failed to make timely transfers. Respondent(s) maintain that the transfer process was delayed due to s

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Patrick and Sandra J. Davis Claimant(s) vs. Nelson Securities, Inc. vs. Emmett A. Larkin Co. and First Trust Corp. Respondent(s) NOTICE OF ARBITRATION AWARD 89-00046 CASE SUMMARY Claimant(s) Patrick and Sandra J. Davis alleged that Respondent(s) Nelson Securities, Inc. failed to execute Claimant's order. Respondent(s) denies Claimant's

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Armand E. and Carrol G. Picou Claimant(s) vs. Edward D. Jones & Co. and John D. F>raser Respondent(s) NOTICE OF ARBITRATION AWARD 89-00044 CASE SUMMARY Claimant Armand E. and Carrol G. Picou alleged that Respondent Edward D. Jones & Co. and John D. Fraser recommended ah unsuitable investment. Additionally Armand E. and Carrol G. Picou alleged

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Stephen D. Bloom Claimant(s) vs. 89-00043 Brennan Ross Securities Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Stephen D. Bloom alleged that Respondent(s) Brennan Ross Securities made unauthorized transactions. Respondent(s) maintain that their actions were justified and reasonable and that the Claimant was a sophisticated in

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between Valeria A. Lesnsr Pierre F. Lesher (deceased) vs. Claimants Award NASD No. 89-00041 Dean Witter Reynolds, Inc. Stephen R. Connors Respondents SUMMARY OF ISSUES This case was filed on January 10, 1989. Claimant alleged the following: fraud and misrepresentation, breach of fiduciary duty, intentional misrepresentation, negligent misrepresentat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Maria I. Aja, et al., Claimants ) ) vs. ) ) AWARD Morgan Olmstead Kennedy & Gardner ) CASE NO. 89-00040 and Tim Harrington ) Respondents ) ) SUMMARY OP ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on January 9, 1989. Claimants are twenty-six individuals, various pension plans and c

NATIONAL ASSOCIATION OF SECURITIES DEALERS, ING. In the Matter of the Arbitration Between ) ANN M. KMIT AND DENNIS KMIT ) Claimants ) and ) ) CASE NO. 89-00039 SHEASON LEHMAN MUTTON, INC. AND ) WILLIAM H. STEWART ) ) Respondents ) CASE SUMMARY In a claim filed with the NASD on January 3, 1989 Claimants Ann M. Kmit and Dennis Kmit ("Claimants") a registered representative of Respondent Shearson Lehman Hutton, Inc. ("Shearson") mad

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Rick Tortora Claimant(s) vs. Blinder, Robinson & Co., Inc. vs. John Robert Kearns Respondent(s) NOTICE OF ARBITRATION AWARD 89-00036 CASE SUMMARY Claimant(s) Rick Tortora alleged that Respondent(s) Blinder, Robinson & Co., Inc. made unauthorized trades. Respondent(s) maintain that Claimant's losses, if any, were not caused or contributed t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Robert E. and Tommie P. LaBonte ) Claimants ) vs. ) Amended Award ) H.T. Bir, Jack Morley, ) and Robert Ryan Respondents ) CASE NO. 89-00032 CASE SUMMARY This Amended Award is issued pursuant to Sections 1284 and 1286.6 of the California Code of Civil Procedure upon the motion of respondent H.T. Birr. The arbitration hearing in this matter w

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marianne Stolz Ernst Stolz vs. Claimants AWARD #89-00031 Thomson McKinnon Securities, Inc. Respondent Case Summary Claimants Marianne and Ernst Stolz of West Germany alleged that Respondent Thomson McKinnon Securities, Inc. placed them in unsuitable options trading resulting in losses to their account without advising them of the risks involved in